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Analysis of difficulties in applying for Hong Kong No. 9 plate,Application fee

Financial card care question

The Mainland and Hong Kong have in-depth interactions in various fields,Financial exchanges are more prominent,Stricter financial regulation in mainland China、Coupled with the impact of the continued downturn in the securities market,The number of investors interested in applying for Hong Kong No. 9 license plate doubled,Especially for large mainland private equity institutions,Hong Kong No. 9 plate is an important way to effectively allocate funds。

According to relevant statistics,As of December last year,The number of units approved by the Securities Regulatory Commission to obtain Hong Kong No. 9 license plate is 1,477,Last year alone, the number of applications for Hong Kong’s No. 9 license plate reached 177。

After getting this license,It is equivalent to a passport in the international capital market.,Overseas customers can allocate assets to corresponding locations through fund custody.,At this stage,Hong Kong license screening standards for individuals and companies continue to increase,The following will analyze the difficulties in applying for Hong Kong No. 9 plate.,and apply

cost

question。Hong Kong No. 9 license application can be divided into company application and individual application,Both have different dealing cards

Require

Company licensing

Require

  1. Establish a Hong Kong company or register an overseas company in Hong Kong,As the applicant for Hong Kong No. 9 plate;
  2. A business structure that the SFC is satisfied with、internal monitoring system;Personnel qualifications and experience are in place;
  3. Have a solid financial position,Have certain solvency;
  4. 2license holders,Must have at least one executive director,Have at least one principal based in Hong Kong;Personal dealing

Require

  1. The licensee must have graduated from a university with a degree in a specified field;
  2. Have no less than 3 years of industry experience;
  3. Have more than 2 years of management experience;
  4. Passed the Hong Kong Securities and Futures Practitioners Qualification Examination,Obtain corresponding professional qualifications。

Due to the

Require

higher,The difficulty in applying for the Hong Kong No. 9 plate mainly lies in the search for talents.,Especially for mainlanders,No way to start looking for the person in charge,At this time, you can consider applying through entrustment.,Ability to provide suitable licensed candidates。

Hong Kong No. 9 plate application

Advantages

  1. Broadening the scope of investment targets,Improve the recognition of overseas investors;
  2. Enjoy tax benefits from Hong Kong,Reduce tax burden;
  3. Able to cater to investors’ needs for asset allocation diversification。Ten years of focus on Hong Kong financial license application field,Familiar with Hong Kong License No. 1-9 application procedures,Always oriented to customer needs。

In order to cater to the diversified needs of various customers for business development,A small number of existing cards such as 1.2.3.4.6.9 are now available for transfer.,Transfer at a price 20% lower than the market price,Hong Kong No. 9 plate application details welcome further communication。


About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

Editing of articles in this issue:

Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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